Neal A. Jaffe

STONEX FINANCIAL

Chicago, IL 60604

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CRD#: 2386160

Professional summary

Neal Alan Jaffe is a registered financial professional currently at STONEX FINANCIAL INC. located in Chicago, Illinois.

Neal is registered as a RR (Registered Representative) and started their career in finance in 1997. Neal has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Alan Jaffe's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 3, 2015 - Present

STONEX FINANCIAL INC.

Office #1: 230 South Lasalle Ste. 10-500, Chicago, IL 60604

CRD#: 45993

Chicago, IL

Past

December 2, 2011 - December 19, 2013

EQUITEC PROPRIETARY MARKETS, LLC

CRD#: 113728

CHICAGO, IL

Past

May 9, 2011 - August 6, 2012

EQUITEC TRADING, LLC

CRD#: 120636

CHICAGO, IL

Past

March 22, 2011 - March 30, 2011

EQUITEC STRUCTURED PRODUCTS,LLC

CRD#: 101900

CHICAGO, IL

Past

August 4, 1997 - June 27, 2003

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(3/12/2015)

Exams

State Security Law Exam

Series 63

Date: 7/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/2/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone number

(407) 741-5300

Established

Florida since 05/29/1998

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
DAVISON, STUART ANDREW	DIRECTOR; CHIEF OPERATING OFFICER	7824576
DICIOLLO, ANTHONY JOSEPH	PRESIDENT/DIRECTOR	4976402
DUNAWAY, WILLIAM JOHN	DIRECTOR, CHIEF FINANCIAL OFFICER	6505923
LYON, CHARLES MARTIN	DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER	4000852
MAURER, MARK L	DIRECTOR, CHIEF RISK OFFICER	4234406
PORZIO, JOSEPH JOHN	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	1319702
SMITH, PHILIP ANDREW	DIRECTOR	4999097
SZEKELY, GIGI KLARA	CHIEF COMPLIANCE OFFICER - BD DIVISION	2530826

Disclosures

Regulatory Event

Red Flags

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Neal A. Jaffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Alan Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITEC PROPRIETARY MARKETS, LLC

EQUITEC TRADING, LLC

EQUITEC STRUCTURED PRODUCTS,LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2013

Series 6

Date: 8/2/1997

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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